Filing Details
- Accession Number:
- 0001181431-10-060383
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-08 21:28:36
- Reporting Period:
- 2010-12-06
- Filing Date:
- 2010-12-08
- Accepted Time:
- 2010-12-08 21:28:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
6951 | Applied Materials Inc | AMAT | Semiconductors & Related Devices (3674) | 941655526 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1322089 | Manfred Kerschbaum | C/O Applied Materials, Inc. P.o. Box 58039, 3050 Bowers Av, M/S 2023 Santa Clara CA 95054 | Senior Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2010-12-06 | 100,000 | $0.00 | 362,500 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2010-12-07 | 200,000 | $8.58 | 562,500 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-12-07 | 200,000 | $13.04 | 362,500 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right to buy) | Disposition | 2010-12-07 | 200,000 | $0.00 | 200,000 | $8.58 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
400,000 | 2014-03-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 14,332 | Indirect | By the 401(k) Plan |
Footnotes
- Represents performance shares (restricted stock units) that will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock upon vesting. These performance shares will vest only after the satisfaction of specified performance goals. Provided such goals are achieved, vesting is scheduled to occur no earlier than in four equal annual installments beginning 12/19/2011 (subject to continued employment through each vest date).
- Number of shares also includes 262,500 performance shares (restricted stock units) previously reported that in the future will be converted on a one-for-one basis into shares of Applied Materials, Inc. common stock upon vesting, which vesting is scheduled to occur as follows: (a) 96,875 shares are scheduled to vest on 12/19/2010; (b) 43,750 shares are scheduled to vest in two equal annual installments beginning 12/19/2010; (c) 18,750 shares are scheduled to vest on 12/19/2011; (d) provided specified performance goals are achieved, 28,125 shares are scheduled to vest on 12/19/2011; and (e) provided specified performance goals are achieved, 75,000 shares are scheduled to vest: (i) as to 12,500 shares no earlier than 12/19/2011 and (ii) as to 62,500 shares no earlier than in two equal annual installments beginning 12/19/2012 (all vesting is subject to continued employment through each vest date).
- Increased number of shares reflects periodic payroll acquisitions and dividend reinvestment under the 401(k) Plan that are exempt under Rule 16b-3.
- 200,000 became exercisable on 4/1/2010 and 200,000 shares are scheduled to become exercisable on each of 4/1/2011 and 4/1/2012 (subject to continued employment through each vest date).